Conferences and Speeches

MMI Alternative Investments Forum 2015

Wednesday, May 13, 2015

Partner Steve Stone and associate Christine Lombardo will present on "Liquid Alts in the Regulatory Crosshairs" at the 2015 MMI Alternative Investments Forum.

After having openly expressed their concerns about the rapid growth of retail liquid alternatives, both the SEC and FINRA have placed them on their examination priority lists for 2015. Stated areas of focus include:

  • for fund managers: liquidity, leverage, valuation, investment allocations, and governance
  • for financial intermediaries: fee arrangements, improper or misleading sales practices, suitability, and supervision

This executive briefing session will review the major focus areas and the most important business implications for investment managers and sponsor firms – both current participants in the liquid alternatives marketplace and those thinking of entering the space.

View the presentation >>